EIMF | Understanding Compliance
To coincide with the publication of his book “Compliance – A Short Book”, EIMF course trainer, Adam Samuel is going to be talking about this strangely elusive subject
Presentation Objectives
– Get people thinking about compliance
– Explore the type of people that should be doing it
– Present the different activities involved
– Deal with whether first-line activities can ever be compliance
– Look at compliance’s role in crisis management
Presentation Outline
– Defining the role of compliance
– The characteristics required of a good compliance person
– The compliance tasks – checking the conditions of trading, writing or vetting procedures, advice, training, monitoring and reporting
– First-line compliance – signing things off
– Managing crises, dealing with regulators and analysing what went wrong
Speaker
Adam Samuel | International Expert
